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Ameriprise Financial Inc executive William Jerryl Williams, President, Wealth Management Advisor Group, exercised 53.9843 phantom stock units into common stock on July 9, 2026. To cover related tax obligations, 23.9843 common shares were withheld, leaving 17,272.9260 common shares held directly and 15,061.4331 phantom stock units outstanding.
Ameriprise Financial executive William F. Truscott, CEO of Global Asset Management, reported the vesting and conversion of 391.6398 shares of phantom stock into Ameriprise common stock on July 9, 2026. Of these, 180.6398 shares were forfeited to cover tax obligations at $500.1600 per share, with remaining shares reflected in his direct, 401(k) and LLC holdings, and 639.1184 phantom stock units still outstanding.
Ameriprise Financial EVP Deirdre Davey McGraw filed an initial Form 3 reporting her equity interests in the company. She holds 4,964 shares of common stock directly and an estimated 634.523 shares indirectly through the Ameriprise Financial 401(k) plan. She also has 2,650.9381 phantom stock units, each representing one share of Ameriprise common stock payable after employment ends, plus several employee stock options to buy common shares at exercise prices between $165.41 and $543.36 with expirations from 2030 to 2036.
Ameriprise Financial executive William Jerryl Williams filed an initial ownership report showing direct holdings of 17,242.926 shares of common stock. He also holds 15,115.4173 units of phantom stock, payable in Ameriprise common shares, and several employee stock options covering tens of thousands of shares at exercise prices between $126.89 and $543.36 per share, with expirations from 2029 through 2036. Footnotes explain that some options vest in three annual installments and that each phantom stock unit represents one share of Ameriprise common stock under the company’s deferred compensation plan.
Ameriprise Financial’s Executive Vice President of Human Resources, Kelli A. Hunter Petruzillo, filed an initial Form 3 showing her equity interests in the company. She reports 4,099 shares of Ameriprise common stock held directly, plus an estimated 249.701 shares held indirectly through the Ameriprise Financial Stock Fund in the company’s 401(k) plan as of June 9, 2026.
She also holds 1,316.417 phantom stock units, each representing the right to receive one share of Ameriprise common stock, generally payable after employment ends or in a specified future year under the Ameriprise Financial Deferred Compensation Plan. In addition, she has vested and unvested employee stock options covering 2,486 shares at an exercise price of $532.18 expiring on February 3, 2036, 1,957 shares at $543.36 expiring on February 1, 2035, 1,630 shares at $391.40 expiring on January 27, 2034, and 921 shares at $344.45 expiring on January 28, 2033, reflecting a significant portion of her compensation tied to Ameriprise’s long-term stock performance.
Ameriprise Financial, Inc. issued $300,000,000 of 4.800% Senior Notes due 2031 and $450,000,000 of 5.350% Senior Notes due 2036. These notes were sold to underwriters led by BofA Securities, Citigroup Global Markets, and J.P. Morgan Securities under an underwriting agreement dated June 4, 2026.
The notes were offered using a prospectus supplement dated June 4, 2026 to a February 23, 2024 prospectus, both under the company’s shelf registration statement on Form S-3. Related documents, including the forms of the notes, the underwriting agreement, and a legal opinion from Faegre Drinker Biddle & Reath LLP, were filed as exhibits.
Ameriprise Financial, Inc. is offering $300,000,000 of 4.800% Senior Notes due 2031 and $450,000,000 of 5.350% Senior Notes due 2036.
The notes are unsecured senior obligations that will rank equally with Ameriprise’s other unsecured senior debt and will be structurally subordinated to obligations of its subsidiaries. Interest on both series is payable semi-annually beginning December 15, 2026. Net proceeds are expected to be approximately $742,466,500 and will be used for general corporate purposes, which may include repayment of up to $500,000,000 of 2.875% Senior Notes due September 15, 2026. The notes will not be listed on any exchange and there is currently no public market for them.
Ameriprise Financial, Inc. is offering two series of unsecured senior notes, as described in this preliminary prospectus supplement dated June 4, 2026. The offering contemplates separate series of notes with semi‑annual interest payments and stated maturities; each series will be unsecured senior obligations and structurally subordinated to subsidiaries’ debt. The notes will be issued in minimum denominations of $2,000 and in book‑entry form through DTC. Net proceeds are to be used for general corporate purposes and may include repayment of the $500 million outstanding 2.875% Senior Notes due September 15, 2026. Interest will accrue from the original issue date, and the issuer may redeem notes prior to or after the par call dates at formulas tied to U.S. Treasury yields. The prospectus supplement incorporates by reference Ameriprise’s SEC reports, including the Annual Report on Form 10‑K for the year ended December 31, 2025, and the Quarterly Report on Form 10‑Q for the quarter ended March 31, 2026.
Ameriprise Financial’s asset management arm is undergoing a planned leadership transition. Columbia Threadneedle Investments announced that William Davies, Executive Vice President and Global Chief Investment Officer at Ameriprise and global chief investment officer at Columbia Threadneedle, will retire effective June 30, 2026, after 33 years with the firm.
William F. “Ted” Truscott, chief executive officer of Columbia Threadneedle, will serve as interim global chief investment officer from July 1, 2026 until a successor is appointed, while existing senior investment leaders and asset class heads maintain their current responsibilities. Columbia Threadneedle manages and advises $706 billion of assets as of March 31, 2026, supported by 2,200 people, including 550 investment professionals across North America, Europe and Asia.
Ameriprise Financial EVP Gerard P. Smyth reported a combination of option exercise, tax withholding, and share sale. On May 14, 2026, he exercised 2,221 Employee Stock Options at $165.41 per share, converting them into common stock. On the same day, he sold 6,255 shares of common stock in an open-market sale at a weighted average price of $472.5191 per share, with sale prices ranging from $472.19 to $472.7551 per share. In a separate transaction, 1,437 shares were disposed of to cover tax liabilities at $471.22 per share. Following these transactions, Smyth directly owns 6,103 shares of Ameriprise common stock.